Compliance

The Federal Reserve's stress tests and capital decisions help clarify who can afford to buy, how much they can pay and who might need to sell.

Our legal expert marks an anniversary.

Investors are going to demand adherence to international financial standards.

Two federal civil suits against UBS will explore whether clients can legally rely on their private bankers' assertions that there is no need to disclose the accounts on their tax returns or sign required disclosures.

Financial services firms, including mutual fund managers, admitted that they invited negative public perception by their actions, or inactions, according to the 2012 Makovsky Wall Street Reputation Study.

In an effort to break a deadlock in the SEC’s effort to adopt a uniform fiduciary standard, a group of seven influential consumer groups and industry organizations – including the FPA, NAPFA and CFP Board – have provided the commission with a proposed roadmap for resolving the debate.

Nearly three-fourths of marketing execs surveyed are confident that new laws will help their firms regain clients' trust.

FINRA began its inquiry after the Credit Suisse-managed VelocityShares Daily 2x Short-Term exchange-traded note, or ETN, lost half its value in just two days earlier this month.

Hedge fund managers are increasingly nervous about getting a knock on the door from U.S. securities regulators now that a new rule that requires them to register as investment advisors and provide lots of data about their inner workings takes effect Friday.

A former Bank of America Merrill Lynch financial advisor and a 'business associate' were hit with a federal criminal complaint that they fraudulently wired $2.2 million from an account of the Indianapolis Colts' defensive end.

Financial services firms admitted that they invited negative public perception by their actions, or inactions, according to the 2012 Makovsky Wall Street Reputation Study.

iShares has filed paperwork with the Securities and Exchange Commission to launch a frontier market exchange-traded fund.

In order to make better financial decisions, investors need simple, easy-to-understand disclosures written in plain English and provided before they hire a planner, the CFP Board recommended to the SEC.

The SEC is focusing on computer-driven exchanges, including BATS Global Markets, as platforms for high-frequency trading firms to gain an unfair advantage over other investors.

The more than 1,300 registered representatives and financial advisors at Ameritas Investment will now be able to breathe easy as they tweet.

Here is the three-part playbook to consult, as advisors and brokers get serious about communicating through social media.

A series of victories by Morgan Keegan & Co. is calling into question who can be considered a "customer" in securities arbitration cases.

A series of victories by Morgan Keegan & Co. is calling into question who can be considered a "customer" in securities arbitration cases.

The SEC's Office of Compliance Inspections and its Division of Enforcement are getting 'increasingly collaborative.' That may be turning routine exams into launchpads for enforcement actions.

Some seniors paid extra for riders that no longer applied because of their age, FINRA says.